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BROKER-DEALER REGULATION § 40A:16.6 Look-Back for New MAPs ..............................40A-38 § 40A:16.7 Exemptions ....................................................40A-39 § 40A:16.8 Ban on Soliciting Political Contributions.......40A-39 § 40A:16.9 Indirect Violations..........................................40A-40 § 40A:16.10 Disclosure ......................................................40A-40 § 40A:16.11 Record-Keeping Requirement .........................40A-40 PART XIII: Retirement Marketplace Chapter 41 Reserved Chapter 42 ERISA Compliance Issues for Broker-Dealers W. Mark Smith § 42:1 Introduction.................................................................. 42-4 § 42:2 ERISA Regulatory Structure.......................................... 42-5 § 42:2.1 Scope of ERISA ..................................................... 42-5 § 42:2.2 General Fiduciary Standards................................. 42-6 [A] Definition of a “Fiduciary” ................................... 42-7 [B] Investment Advice Fiduciaries .............................. 42-9 § 42:2.3 Prohibited Transaction Rules .............................. 42-14 § 42:2.4 Acting As Broker................................................. 42-18 [A] Fiduciary Status .................................................. 42-18 [B] Party in Interest Status ....................................... 42-19 § 42:3 ERISA Objectives of Retaining an Investment Professional................................................................. 42-19 § 42:3.1 Satisfying the Plan Fiduciary’s Own Duty.......... 42-19 § 42:3.2 Delegating Investment Accountability to an Investment Manager...................................... 42-20 § 42:3.3 Obtaining Broad Section 406(a) Relief for Investment Transactions..................................... 42-21 § 42:3.4 Obtaining Relief for Default Investments ........... 42-22 § 42:3.5 Obtaining Relief for Investment Advice Programs ................................................. 42-22 § 42:4 Acting As an Investment Fiduciary ............................ 42-22 § 42:4.1 Fiduciary Accountability ..................................... 42-22 § 42:4.2 Necessary Services Exemption ............................ 42-24 [A] Application to Broker-Dealers............................. 42-25 [B] Flat Fee Arrangements ........................................ 42-27 [C] Payment by Plans of Performance-Based Compensation .................................................... 42-27 [D] New Conditions for Brokers and Certain Other Service Providers.......................... 42-29 cxxxii
§ 42:4.3 Exclusive Benefit Rule......................................... 42-31 § 42:4.4 Prudence Rule ..................................................... 42-32 § 42:4.5 Diversification..................................................... 42-33 § 42:4.6 Compliance with Plan Documents..................... 42-33 § 42:4.7 Trust Requirement .............................................. 42-33 § 42:4.8 Indicia of Ownership .......................................... 42-34 § 42:4.9 Bonding............................................................... 42-35 § 42:4.10 Reporting and Participant Disclosure.................. 42-35 § 42:4.11 Disqualification for Criminal Convictions ......... 42-36 § 42:4.12 Best Execution .................................................... 42-36 § 42:4.13 Fee Sharing and Indirect Compensation............. 42-37 § 42:5 Trading and Execution................................................ 42-44 § 42:5.1 Transactions in Which a Broker-Dealer Acts As Broker (Agency Transactions).............................. 42-45 [A] Plans with Respect to Which a Broker-Dealer Is a Fiduciary ...................................................... 42-45 [B] Plans with Respect to Which a Broker-Dealer Is Not a Fiduciary But Is a Party in Interest....... 42-51 § 42:5.2 Principal Transactions Between a Plan and a Broker-Dealer Acting As a Dealer .................... 42-51 [A] Plans with Respect to Which a Broker-Dealer Is a Fiduciary ...................................................... 42-51 [B] Plans with Respect to Which a Broker-Dealer [C] Is Not a Fiduciary But Is a Party in Interest....... 42-52 Special Exemption for Principal Transactions Involving American Eagle Gold and Silver Bullion Coins............................................ 42-53 § 42:5.3 Purchase of Securities from a Broker-Dealer As Underwriter or From an Underwriting Syndicate of [A] [A][1] [A][2] Which a Broker-Dealer Is a Member................... 42-54 Plans with Respect to Which a Broker-Dealer Is a Fiduciary ...................................................... 42-54 Situation 1: Broker-Dealer or Other Plan Fiduciary Is Syndicate Manager .... 42-55 Situation 2: Plan Fiduciary Is Not Syndicate Manager; Plan Purchases From Syndicate Member Other Than the Fiduciary ................. 42-56 [B] Plans with Respect to Which a Broker-Dealer Is Not a Fiduciary But Is a Party in Interest....... 42-57 § 42:5.4 Acting As Market-Maker .................................... 42-57 [A] [B] Table of Contents Plans with Respect to Which a Broker-Dealer Is a Fiduciary ...................................................... 42-57 Plans with Respect to Which a Broker-Dealer Is Not a Fiduciary But Is a Party in Interest....... 42-58 (Broker-Dealer Reg., Rel. #3, 5/13) cxxxiii
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Table of Contents VOLUME 1 About th
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[A] Generally .....................
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Table of Contents Chapter 3 Brokers
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Table of Contents Chapter 5 Broker-
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Table of Contents § 5A:6.2 Exempti
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Table of Contents [E] Damages .....
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Table of Contents § 6:7.5 Qualific
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§ 8:3.5 Training..................
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§ 10:5 Harmonizing the Broker-Deal
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Table of Contents § 12:2.7 Use of
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§ 13:2 Establishment and Maintenan
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§ 13:4.2 Firm-Initiated Transfers
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[B][2] Disclosures Applicable to Mu
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Table of Contents [C][2] Financial
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§ 15:2.3 MSRB Rules ..............
Page 31 and 32: [D][3] SEC v. Materia: Misappropria
Page 33 and 34: § 17:4 SRO Research Rules.........
Page 35 and 36: § 17:6 Global Research Analyst Set
Page 37 and 38: § 18:5.2 Definition of Exchange ..
Page 39 and 40: § 18:7.2 Exchange Act Rule 15c3-5
Page 41 and 42: [D] Price Improvement .............
Page 43 and 44: Table of Contents § 20:5.2 The Dut
Page 45 and 46: Table of Contents [D] Introducing B
Page 47 and 48: § 25:3 Understanding the Arrangeme
Page 49 and 50: Table of Contents § 25:17.31 Anti-
Page 51 and 52: Table of Contents § 27:7.1 Disclos
Page 53 and 54: Table of Contents § 28:2.4 Fraudul
Page 55 and 56: [C] Risk Management for Banks......
Page 57 and 58: Table of Contents Chapter 31A SEC a
Page 59 and 60: PART X: Compliance, Examinations, a
Page 61 and 62: Table of Contents § 33:3.8 Where R
Page 63 and 64: [B] Administrative Proceedings.....
Page 65 and 66: § 36:2.2 To What Extent Should the
Page 67 and 68: Table of Contents § 37:4.1 Broker-
Page 69 and 70: Table of Contents § 37B:2.3 Arbitr
Page 71 and 72: § 37C:3.2 Institutional Investment
Page 73 and 74: Table of Contents § 37D:3 Treasury
Page 75 and 76: Table of Contents § 38:6.4 Educati
Page 77 and 78: § 39:5.6 Rule G-34 CUSIP Numbers a
Page 79 and 80: § 40:2.2 Municipal Entity and Obli
Page 81: Table of Contents [E] Communication
Page 85 and 86: Table of Contents [C] Underwriting
Page 87 and 88: Table of Contents [D] Implications
Page 89 and 90: § 42C:3.2 Consequences of Breachin
Page 91 and 92: Table of Contents § 42D:3.3 Applic
Page 93 and 94: § 42E:6 Considerations in Connecti
Page 95 and 96: PART XVI: Special Topics Table of C
Page 97 and 98: § 44:4 FINRA Rule 5121 (Public Off
Page 99 and 100: § 44:9.3 Procedures Required by Ru
Page 101 and 102: [B][3] Stabilizing When the Princip
Page 103 and 104: Chapter 46 U.S. Securities Activiti
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